Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 5.1 Suspending listing

IFPRU 4.10 Validation

EG 4.13 Preliminary findings letters and preliminary investigation reports

LR 19.4 Continuing obligations

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

REC 3.6 Constitution and governance

REC 3.2 Form and method of notification

CASS 5.4 Non-statutory client money trust

LR 5.4 Restoring listing

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

LR 13.2 Approval of circulars

LR 6.14 Shares in public hands

BIPRU 7.11 Credit derivatives in the trading book

PERG 13.5A Child trust funds and MiFID

CONC 7.12 Lenders’ responsibilities in relation to debt

IPRU-INV 9.2 GENERAL REQUIREMENTS

PERG 16.5 How AIFMD affects other regulated activities

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

CASS 11.9 Segregation and the operation of client money accounts